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Showing 12 to 21 of 111 search results for gave an individual a Warning Notice on 18.

  1. Financial Services Register

    To look up details of firms, use The Financial Services Register. The register is a public record that shows details of firms, individuals and other bodies that are, or have been, regulated by the Prudential Regulation Authority (PRA) and/or the Financial Conduct Authority (FCA).

  2. Business interruption insurance

    Firms Focus areas Published: 11/05/2020 Last modified: 30/04/2024
    Find out about how we obtained legal clarity on business interruption (BI) insurance during the coronavirus (Covid-19) crisis. 

  3. Our Perimeter Report

    Annual reports Published: 20/07/2022 Last modified: 05/04/2024
    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

  4. Warning Notice Statement 20/2 [pdf]

    Warning notices Published: 13/11/2020 Last modified: 13/11/2020
    On 18 September 2020, the Financial Conduct Authority (the FCA) gave Carillion plc (in liquidation since 15 January 2018) and certain previous executive directors of Carillion a warning notice each, proposing to take action in respect of the conduct

  5. Warning Notice Statement 24/2 [pdf]

    Warning notices Published: 21/02/2024
    The FCA gave two individuals warning notices on 13 July 2023 proposing to take action in respect of the conduct summarised in this statement.

  6. Warning Notice Statement 24/1 [pdf]

    Warning notices Published: 08/01/2024
    The FCA gave an individual a warning notice on 16 November 2023 proposing to take action in respect of the conduct summarised in this statement.

  7. Warning Notice Statement 23/5 [pdf]

    Warning notices Published: 18/05/2023
    The FCA gave 3 individuals warning notices on 17 February 2023 proposing to take action in respect of the conduct summarised in this statement.

  8. Warning Notice Statement 23/2 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

  9. Warning Notice Statement 23/3 [pdf]

    Warning notices Published: 20/04/2023
    The FCA gave an individual a warning notice on 6 March 2023 proposing to take action in respect of the conduct summarised in this statement.

  10. Warning Notice Statement 23/1 [pdf]

    Warning notices Published: 06/03/2023
    The FCA gave the following 2 individuals warning notices on 28 September 2022 proposing to take action (being the imposition of financial penalties) in respect of the conduct summarised in this statement.

  11. Warning Notice Statement 22/3 [pdf]

    Warning notices Published: 20/10/2022
    The FCA gave a warning notice on 10 August 2022 to an individual (Individual A) working as a director and independent financial adviser at an advisory firm (Firm A) whilst an approved person proposing to take action in respect of the conduct
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